Michael A. Conti
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Anthony Conti was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2004 - July 14, 2008
CANTELLA & CO., INC.
November 14, 2003 - November 20, 2003
FIREFLY CAPITAL, INC.
October 12, 2001 - May 7, 2002
LEERINK PARTNERS LLC
June 27, 2001 - September 24, 2001
A. G. EDWARDS & SONS, INC.
October 11, 2000 - June 22, 2001
LEHMAN BROTHERS INC.
November 25, 1998 - October 19, 2000
COWEN AND COMPANY
November 13, 1995 - December 21, 1998
GLEACHER & COMPANY SECURITIES, INC.
November 11, 1994 - November 15, 1995
PRUDENTIAL EQUITY GROUP, LLC
November 4, 1989 - November 30, 1994
MORGAN STANLEY DW INC.
August 30, 1989 - October 4, 1989
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
